Reforming Electoral Processes

Since the mid-1980s, there have been substantial structural and procedural changes in the way elections are conducted around the world, such as the growing numbers of independent and permanent electoral administration bodies, and the increasing use of new technologies to deliver electoral services. Electoral reform has often been part of a package of general democratization initiatives. However, many countries in which there had been general satisfaction with a long-standing framework and style of electoral administration have also seen substantial reforms.

Examples of this are:

• the introduction of an independent EMB and of significantly wider access to voting in Australia in 1984;
• the introduction of a new independent body with electoral functions, and a radically different electoral system, in New Zealand in 1993; and
• recent changes in Sweden to create more independent electoral administration.

 

The internationalization of electoral frameworks and administration continues to place countries under pressure to introduce electoral reform measures. The relatively recent development of generally acknowledged standards for ’free and fair’ elections and of global and regional standards for electoral administration have created yardsticks by which each country’s electoral processes and administration can be assessed.

Reforms to electoral processes may be triggered by failure to deliver acceptable elections or by conflict resulting from disputed elections. Where countries are dependent on international donor contributions, these may be linked to implementation of electoral reforms, such as in Liberia. Financial constraints requiring electoral resources to be used more sustainably and effectively have had a significant bearing on administrative electoral reforms.

The increasingly widespread and expert independent and political party observation of elections has produced many well-documented assessments of electoral performance and recommended reforms, as in Nigeria‘s post-2003 elections. Civil society and the media have become more aware of electoral rights and standards. International observation of and technical assistance to elections in emerging democracies can also have an effect in the mature democracies.

What Is Electoral Reform?

‘Electoral reform’ is a broad term that covers, among other things, improving the responsiveness of electoral processes to public desires and expectations. However, not all electoral change is electoral reform. Electoral change can only be referred to as reform if its primary goal is to improve electoral processes, for example through fostering enhanced impartiality, inclusiveness, transparency, integrity, or accuracy. Random and/or frequent electoral change, while it may be reformist, can also be confusing to voters, and thus defeat its purpose. Frequent change may also negatively affect the sustainability of an EMB’s operations.

Electoral reform often only catches the public eye when it involves changes to representational arrangements, such as electoral systems, but it is a much broader concept than this. There are three distinct areas of electoral reform, in each of which an EMB and its stakeholders may play different roles:

1. legal — involving the amendment of the constitution, the electoral law, or related regulations and rules to enhance the integrity, relevance, and adequacy of the legal framework within which the EMB delivers its services. This may include institutional reform of the EMB itself;
2. administrative — the introduction within the EMB of new strategies, structures, policies, procedures, and technical innovations that enable it to implement its legal responsibilities and deliver its services more efficiently, effectively, and sustainably. These could include: policies and practices on issues such as procurement, financial integrity, or employment (such as gender balance in the recruitment of EMB staff); making informed voting accessible to groups such as women, remote residents, and the physically impaired; or introducing new technology for services such as voting, voter registration, or electoral logistics; or
3. political – changes which take place in the political environment within which the EMB operates, such as giving it more autonomy or creating a more effective and transparent framework for its funding and accountability.

 

Change may be brought about by different means and originate from different sources. Many electoral reforms have been introduced by governments or by EMBs, sometimes triggered by voter apathy, as in the case of the UK, or as the result of internal investigations. The prevailing international environment, which emphasizes democratic representation, aided and abetted by local civil society bodies and other stakeholders, has emboldened many EMBs to press their governments for electoral reform.

Failing EMBs

Many EMBs fail to discharge their mandate in line with accepted regional or international standards. There are no comprehensive data on the reasons for EMB failure. Studies of individual EMBs have noted a number of internal causes, including:

1. lack of stakeholder confidence in the EMB;
2. government and/or political influence on EMB decisions;
3. a partisan approach by the EMB or its members;
4. a lack of EMB professionalism; and
5. EMB incompetence or financial impropriety.

In other cases, the reasons for an EMB’s failure are outside its control, for example, having to implement an electoral system that produces results that are not acceptable to major stakeholders, as in Lesotho in the 1990s. There may be deficiencies in the legal framework. In Liberia and Zimbabwe in the late 1990s/early 2000s, the failure of elections to meet acceptable standards was part of a failure of these countries’ political systems.

Except where the entire political system is failing, electoral reform – of the EMB itself and/or of the broader electoral framework – may be able to save future electoral processes from failure. Notable examples of this in the 1990s are those of Mexico and South Africa.

The EMB’s Role in Electoral Reforms

While the EMB has a key role to play in all electoral reform, it may not be in a position to implement reform without the support of its key stakeholders – particularly the government, the legislature, and political parties. This is a significant reason for EMBs maintaining a strong relationship with their stakeholders.

An EMB can only implement legal reform within the framework agreed by the government and legislature. However, the EMB may have a key research, review, and advocacy role in promoting electoral legal reform, which can be guided by the standards detailed in "International IDEA’s publication International Electoral Standards: Guidelines for reviewing the legal framework of elections" (see right hand bar). Electoral legal reform can be assisted by establishing an appropriate permanent body of the legislature to monitor electoral activities and recommend electoral reforms to the government. Effective legal electoral reform depends on a multi-partisan approach within the legislature that subordinates political advantage to electoral ethical principles and good practice.

The EMB has more control over the implementation of administrative reforms, and can implement them more effectively if it formally adopts a continuous review and reform process within its management policies. However, legal and administrative reforms often need to be synchronized to optimize their effectiveness. In India, for example, while the EMB has modernized its election procedures extensively, reform of the election machinery has not kept pace.

Unless an EMB maintains a process for review of its administrative strategies, policies, procedures and practices, its effectiveness will diminish, as it will have no mechanism to deal with change in its legal, stakeholder, technological, financial and social environments.

Political and legal reform issues in relation to electoral processes are often strongly associated. As with legal reform, the EMB does not control political reform, though it again can play a research and advocacy role, and cultivate support among key stakeholders. Unless an EMB maintains a process for review of its administrative strategies, policies, procedures, and practices, its effectiveness will diminish, as it has no mechanism to deal with change in its legal, stakeholder, technological, financial, and social environments.

Key steps for an EMB to consider in proposing and implementing electoral reforms include:

1. assigning responsibilities to specific members/staff for the development, advocacy and implementation of electoral reforms;
2. implementing effective processes, including post-electoral audits and evaluations, for review of the electoral framework and the implementation of electoral processes;
3. consulting with stakeholders to ascertain their views on required reforms and to enlist their support for the EMB’s reform program;
4. making submissions to the government and the legislature on desired electoral reforms;
5. publicising, through media and use of stakeholder networks, the desired electoral reforms;
6. developing an electoral reform implementation strategy;
7. evaluating effects of electoral reforms.

The Scope of Electoral Reform

A significant area for electoral reform is the nature and structure of the institutions engaged in electoral management or in delivering electoral services. These reforms may enhance the independence of the EMB – for example the creation of independent model EMBs in countries such as Indonesia, Mexico, Nigeria, Romania, and South Africa. Electoral responsibilities may be reassigned amongst existing and/or new bodies to promote better service delivery – as in New Zealand, Sweden, and the UK. In some cases, such as in Sweden, the suggestions for reform of electoral management were initiated by the EMB itself. In others, as in New Zealand and the UK, the reforms of electoral management were initiated by the government. Pressure from local civil society or international groups may also instigate reform of electoral management arrangements, as in Georgia and Liberia.

Reforms to electoral processes may have a broad effect on an EMB’s strategies, policies, and procedures – such as the introduction of a new electoral system. They may target key electoral issues such as electoral participation and representation, delimitation of electoral districts, voter registration, registration and oversight of political parties, and improving electoral integrity. They may target specific technical or technological aspects of the electoral process, such as introducing new procurement or employment processes, voter registration systems, or voting and vote-counting methods or systems. They may involve social policies, such as reducing a gender imbalance in representation, improving access to electoral processes for marginalized sectors of society, or improving the representativeness of the EMB’s own staff.

Electoral system reform, such as in Fiji, Indonesia, Lesotho, Liberia and New Zealand, is one of the most far-reaching reforms in election administration. It is often the result of a functional need, for example, of perceptions of an ‘unfairness’ in representation, or of government ineffectiveness or lack of responsiveness. In 2003, in Indonesia, the electoral system was changed from closed list proportional representation (PR) in very large electoral districts to open list PR in small electoral districts, in order to address perceived deficiencies in the links between voters and representatives, while maintaining the consensus nature of Indonesian governance. Electoral system reform places a substantial information responsibility on the EMB, and may require it to implement new methods of electoral district boundary delimitation, voting, and vote counting.

EMBs can play a significant role in reform of electoral district boundary delimitation: as advocates of more transparent and equitable boundary delimitation processes; in providing expert opinions on boundary delimitation issues; and in ensuring that they exercise any responsibilities for boundary delimitation impartially, equitably, and with integrity. Some electoral reforms have introduced multi-member districts, as this type of system, usually based on PR, can make electoral boundaries less of an influence on determining election results. Other reforms have required boundary delimitations based on ‘one person, one vote, one value’. Some reforms have attempted to make boundary delimitation processes more transparent and objective, such as by removing any role for the legislature in delimitation; having an independent body in charge of delimitation; and requiring open hearings and independent review of proposed boundaries.

The process of registering electors has attracted many efforts at modernization in both emerging and established democracies. Electoral registration determines the ability of eligible voters to participate in an election, and thus is a key ingredient in the fairness of an election. As it generally occurs well before Election Day, and often outside the direct scrutiny of observers (especially where electoral registers are derived from civil or population registers), the internal integrity of voter registration systems needs to be very high. Reforms have targeted increasing the efficiency as well as the integrity of voter registration processes.

Many EMBs have implemented systems to improve the inclusiveness, fairness, accuracy, and transparency of voter registration, such as providing for continuously updated voter registration, special registration provisions for transient voters, and safeguards against wrongful rejection of or removal from registration. EMBs and other agencies responsible for maintaining data from which voters registers are derived are improving the integrity of voter registers through better methods of checking the identity of qualified persons, and reducing data processing times, often using modern technological solutions. EMBs need to ensure that technological solutions for voter registration enjoy the trust of the citizens and are sustainable, especially in emerging democracies where EMBs may have uncertain levels of future financial support.

There have been significant reforms in the role played by EMBs in monitoring and regulating the activities of political parties. Some are the consequences of legal reforms targeted at providing a more level playing field for political competition – such as the administration of state funding of political parties and candidates’ election campaigns, and the qualifications for registration of parties and candidates to contest elections. Others have been targeted at improving oversight of campaign contributions and expenditure, and the internal democracy of political parties – such as oversight of candidate selection processes. Reforms to promote a level playing field for elections have also given some EMBs responsibilities to administer or monitor arrangements that require the media to allocate campaign advertising opportunities equitably.

A growing number of EMBs are introducing new voting methods. Brazil and India have introduced electronic voting machines (EVMs) with a view to replacing manual voting. Many of the issues that need to be considered in reforming electoral processes by introducing electronic voting are dealt with in the files on EMB Stakeholder Relationships and The Sustainability of EMBs.

There have significant efforts to make electoral participation more accessible. Access to voter registration has sometimes been opened to those out of country, of no fixed abode, or in prison. Access to polling has been widened for many people, through the introduction of in-person absentee or postal voting, including for voters out of country, and through providing special voting and voter information facilities for refugees, internally displaced persons, the disabled, the aged, and those in remote areas, in prison, or in hospital. EMBs have had to respond to all these reforms by introducing procedures and systems that enable the additional access while maintaining high integrity in the voter registration, voting, and counting processes.

Reform of electoral access has attempted in some countries to provide equity in access for specific societal groups and for women. EMBs can promote equitable access by insisting on it in their own staffing, for example by requiring gender balance in temporary staffing for polling stations, and using internal professional development programmes to ensure that women advance into EMB management positions.

Managing Electoral Change

Electoral change management requirements will depend on the extent of the reform and the specific electoral processes involved. Changes to the model of the EMB - for example from a Governmental Model to an Independent Model – require particularly careful planning to ensure a smooth transition and retention of skills and institutional memory. It is crucial that changes to electoral structures and frameworks are agreed sufficiently before electoral events to allow preparation of new materials and effective implementation of training.

Especially where the process of change applies to the nature, or structure and staff of an EMB, it is essential to appoint a skilled manager and communicator to oversee and implement the changes. Changing organisational structures and individual roles within structures will inevitably create tension. Transparency, honesty, serious consultation, communication, and adequate forewarning are essential in managing personnel through electoral change. Timing is also critical. An EMB’s staff have skills and knowledge that may be difficult to replace, especially close to an election date. The involvement of members of the EMB in change management demonstrates the EMB’s commitment to reforms.

The implementation of reforms relating to election technical processes may require the help of experts who specialize in particular technical areas. In implementing technical reforms, the EMB needs to be careful that the new procedural and system specifications are correct and have been correctly implemented. Thorough development review processes and pre-implementation testing are essential. The change management process also needs to include measurable indicators to evaluate the implementation of the electoral reforms, and clear responsibilities for reporting on indicators and for acting to improve performance if any indicator is not achieved.

Summary: Reforming Electoral Processes

• Electoral reforms are changes targeted at improving implementation of the guiding principles of electoral administration. See Guiding Principles.
• Electoral reforms may be directed at the electoral legal framework - including the institution of the EMB, the administrative and technical processes of electoral management, and the political context for electoral activities.
• No aspect of electoral frameworks, systems, institutions, planning, management, or operations is immune from reform or modernization. EMBs need to have a clear strategy for developing or responding to, and implementing electoral reforms.
• EMBs have vital roles as advocates for electoral reforms in general, as implementers of institutional reforms, and as initiators and implementers of administrative, including technical, reforms.
• Electoral reform needs to be carefully managed to ensure that it fulfils its purpose without confusing electors and with minimal disruption to electoral administration.